Head of Fixed Income Compliance - Larson Maddox

Head of Fixed Income Compliance - Larson Maddox

Join to apply for the Head of Fixed Income Compliance - Larson Maddox role at Jobs via eFinancialCareers

Head of Fixed Income Compliance - Larson Maddox

2 days ago Be among the first 25 applicants

Join to apply for the Head of Fixed Income Compliance - Larson Maddox role at Jobs via eFinancialCareers

Head of Fixed Income Compliance
Our client, an international Capital Markets group, is looking to hire an experienced Compliance professional at either senior Executive Director or junior Managing Director level who will provide leadership and direction to a specialist Compliance Advisory team whose mandate is the provision of Fixed Income Compliance advice and guidance to senior leaders and key members of the firms growing public side Capital Markets business. The firm are one of the worlds leading public side Capital Markets groups whose global presence continues to go from strength to strength as they work on some of the highest profile transactions. The Fixed Income business, among others, has been identified as a key growth area of the firm as such this role is the first of several new hires to be signed off in fast growing specialist group.

Head of Fixed Income Compliance
Our client, an international Capital Markets group, is looking to hire an experienced Compliance professional at either senior Executive Director or junior Managing Director level who will provide leadership and direction to a specialist Compliance Advisory team whose mandate is the provision of Fixed Income Compliance advice and guidance to senior leaders and key members of the firms growing public side Capital Markets business. The firm are one of the worlds leading public side Capital Markets groups whose global presence continues to go from strength to strength as they work on some of the highest profile transactions. The Fixed Income business, among others, has been identified as a key growth area of the firm as such this role is the first of several new hires to be signed off in fast growing specialist group.
You will report directly into the Chief Compliance Officer
The Head of Fixed Income Compliance will be responsible for…

• Leading the group responsible for the provision of specialist product and business Compliance Advice to key stakeholders and senior leaders in the Fixed Income business focusing among others, on Controls as well as Policy & Procedures.
• Engagement with Regulators for regulatory approvals
• Working closely with Fixed Income and other key business leaders to implement regulatory initiatives
• Oversee the development of Controls for the Fixed Income Business.
  
  

• 15+ years of relevant Compliance Advisory experience within a larger institutional Fixed Income business with significant experience of managing a Fixed Income Compliance team
• Experience of working with Regulators including FINRA and SEC
• Excellent, broad Fixed Income product knowledge is essential with the firms product offering including but not limited to Rates, Swaps, Treasury, Corporate Bonds, Munis, FX and more
• Securities Industry registration - not essential but a nice to have series 7 and 24
• Exceptional analytical, technical and communication skills

Seniority level

• Seniority level

  Executive

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance and Sales

Referrals increase your chances of interviewing at Jobs via eFinancialCareers by 2x

Get notified about new Head of Fixed Income jobs in Manhattan, NY .

Head of Global Real Assets Investment Solutions

New York, NY $250,000.00-$275,000.00 7 months ago

Senior Vice President - Head of Finance (Alternative Investments)

New York City Metropolitan Area $350,000.00-$425,000.00 3 weeks ago

Head of Cross Asset CTR Trading & NAM Head of Cross-Asset XVA (Hybrid)

New York, NY $250,000.00-$500,000.00 2 weeks ago

New York City Metropolitan Area $200,000.00-$315,000.00 1 week ago

New York, NY $250,000.00-$300,000.00 3 days ago

Head of Thought Leadership MetLife Investment Management

New York City Metropolitan Area 3 days ago

Managing Director, Head of Liquidity, Trading & Investment Modeling

Head of Structured Finance Investors Relations (NY)

Head of Regulatory Reporting & Compliance , Fixed Income Trade Processing Technology – SVP – New York (Hybrid)

New York, NY $176,720.00-$265,080.00 1 week ago

New York, NY $250,000.00-$350,000.00 3 weeks ago

New York, NY $125,000.00-$145,000.00 1 week ago

Americas Head of Client Solutions & Partnerships, Institutional Cash Management - Director

New York, NY $190,000.00-$299,500.00 2 days ago

Head of Risk – Electronic & Algorithmic Trading

New York City Metropolitan Area 1 week ago

SVP, Fixed Income Compliance Advisory - E-Trading

SVP, Fixed Income Compliance Advisory - Credit

Director or Managing Director, Tactical & Accrual Trading

New York, NY $275,000.00-$350,000.00 2 weeks ago

Director, Head of FX Local Market Americas Trading

New York, NY $215,000.00-$300,000.00 3 months ago

Director, Head of Investment Innovation and Integration - Liberty Mutual Investments

New York, NY $180,000.00-$350,000.00 6 days ago

New York, NY $130,000.00-$170,000.00 1 year ago

Director – Fixed Income Compliance Officer

New York City Metropolitan Area $163,000.00-$250,000.00 3 weeks ago

Investment Management Public Side Attorney

New York, NY $110,000.00-$200,000.00 2 weeks ago

Treasury Middle Office Department-System and Technology AVP

New York, NY $65,000.00-$150,000.00 1 week ago

NAM & Latin America Head of E-Trading Risk & Controls (Director)

New York, NY $170,000.00-$300,000.00 1 week ago

New York, NY $100,000.00-$150,000.00 7 months ago

New York, NY $90,000.00-$110,000.00 1 week ago

Manhattan, NY $160,000.00-$175,000.00 6 days ago

New York, NY $170,000.00-$175,000.00 2 weeks ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.